Phin L. Lam
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Phin Lian Lam, who also goes by Phin L Lam, Phin Lam, Phin Lam Luk, was a registered financial professional .
Phin is a previously registered financial professional and started their career in finance in 1997. Phin had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2010 - January 2, 2018
VOYA INVESTMENT MANAGEMENT CO. LLC
February 9, 2009 - January 2, 2018
VOYA INVESTMENTS DISTRIBUTOR, LLC
January 21, 2003 - February 5, 2009
VOYA FINANCIAL PARTNERS, LLC
January 21, 1998 - February 5, 2009
VOYA FINANCIAL PARTNERS, LLC
March 18, 1997 - November 28, 1997
VANGUARD MARKETING CORPORATION
February 3, 1997 - March 19, 1997
WOODBURY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
VOYA INVESTMENT MANAGEMENT CO. LLC
CRD#: 106494 / SEC#: 801-9046
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VOYA INVESTMENT MANAGEMENT CO. LLC
CRD#: 106494 / SEC#: 801-9046
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,261 |
| AUM (Assets Under Management) | $ 253,808,191,665 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2025 | ||
| 11/26/2024 | ||
| 10/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
